Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roel? Claim Your ProfileRoel Gonzales is a financial advisor with over 20 years of experience in the industry. Roel is currently registered with Wells Fargo Clearing Services, LLC in San Antonio, Texas. Roel is a Series 7 and Series 63 licensed financial advisor and holds a Series 65. Prior to joining Wells Fargo, Roel was registered with J.P. Morgan Securities LLC for almost 10 years. Roel specializes in providing financial advice to individuals, businesses, and charitable organizations.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
TX
08/22/2022 - Present
Wells Fargo Clearing Services, LLC (SAN ANTONIO TX)
TX
08/07/2013 - 07/30/2022
J.P. MORGAN SECURITIES LLC (SAN ANTONIO TX)
TX
07/06/2005 - 08/22/2011
CHASE INVESTMENT SERVICES CORP. (SAN ANTONIO TX)
IL
03/28/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
TX
10/14/1998 - 11/13/2002
USAA INVESTMENT MANAGEMENT COMPANY (SAN ANTONIO TX)
IA
Issued 09/10/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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